DFX Intelligence
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C•••••• A•••••••• M••••••••
As of · the IAPD feed; also filed as C•••••• M••••••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 2
- Signals
- 1
since Dec 18, 2024
As of · the IAPD feed; also filed as C•••••• M••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Dec 18, 2024 · Shelton, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 7, 2022 to May 22, 2024 · Stamford, Ct
- E•••••••• A•••••••• L•• national BDJan 27, 2020 to Feb 8, 2021 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• E••••••••• L••left May 22, 2024, registered Dec 18, 2024 (210 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2021, registered Dec 7, 2022 (667 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMay 22, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote